David L Rojas (CRD#3139380) and UBS FINANCIAL SERVICES INC.

The Securities Lawyers at Halling & Cayo, S.C. are looking into potential claims against David L Rojas (CRD#3139380) regarding allegations made regarding the following:

Claim(s) Made Against David L Rojas:

Claim Date: 7/25/2018

“Time frame: 2013-Present Claimant alleges that his account was over-concentrated in unsuitable Puerto Rico closed-end funds and government bonds and that the investments were misrepresented to him.”

This claim, as of this posting, is currently Settled with a claim amount of $200,000.00 .

The investor was paid $80,000.00 by the brokers’ firm.

See more information on FINRA’s BrokerCheck site for David L Rojas.

Have an issue with David L Rojas?

If you were a client of David L Rojas and UBS FINANCIAL SERVICES INC. from SAN JUAN, PR, and experienced any issues or problems, the Securities Lawyers at Halling & Cayo, S.C. are interested in discussing the possibility of a claim with you. Brokerage firms have the responsibility to oversee all representatives who are registered with their firm, including David L Rojas, and must ensure that they adhere to all securities rules, regulations, and internal policies. If a brokerage firm fails to do so, it may be held responsible for investment losses sustained by customers due to a lack of supervision.

The Securities Lawyers have successfully recovered millions of dollars for investors across the country and are currently considering bringing claims on behalf of individuals or groups of investors who have suffered losses. If you are a former customer of David L Rojas and UBS FINANCIAL SERVICES INC. and have incurred investment losses, please contact the Securities Lawyers. You may be entitled to financial compensation, and we work on a contingency basis, meaning we only get paid if we recover your money. Please note that there may be time limits or statutes of limitations that apply to your claim, so it is important to act quickly and speak with an attorney as soon as possible.

Contact The Securities Lawyers


Sean M. Sweeney is a shareholder at Halling and Cayo, a full service law firm in Milwaukee, WI and the head of its Securities Litigation team.

He represents individual and institutional investors in FINRA arbitration and court nationwide. He recovers investment losses from fraud or breach of duty from their broker-dealer.

Contact him at (414) 755-5020 or via e-mail at SMS@hallingcayo.com to see if he can help recover your funds.